Flush with Silicon Valley cash, Vise is building out its executive and advisory teams.

Advisor Diana Behre says she was fired after revealing her Chapter 7 filing to her employer.

LPL advisor EJ Pipkin survived a massive heart attack due to the quick response of his colleagues.

The SEC settled charges against Milton Dosal Jr., arguing that he raised nearly $100,000 from about 41 investors claiming he could trade stocks on their behalf despite not being a registered broker.

About 400 new young hires joined BlackRock in July and have never been to the office.

David Poole is joining Citi, after working at E*Trade and Bank of America Merrill Lynch.

In two years, Robertson Stephens has doubled its assets under management and attracted Raj Bhattacharyya to be its CEO.

Fintech veteran Alex Sauickie, a former colleague of the late John Michel when the two were at Merrill Lynch, will be leading CircleBlack.